William H. Tabone
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
William Henry Tabone was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1983. William had worked at 8 firms and has passed the Series 63, Series 3, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 29, 2010 - June 13, 2011
SYNDICATED CAPITAL, INC.
March 17, 2006 - November 7, 2008
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
August 31, 2004 - September 28, 2005
ALLIED BEACON PARTNERS, INC.
January 1, 2002 - September 30, 2002
VFINANCE INVESTMENTS, INC
May 3, 2001 - January 1, 2002
FIRST COLONIAL SECURITIES
July 10, 1992 - May 18, 2000
A. G. EDWARDS & SONS, INC.
March 5, 1984 - July 17, 1992
PRUDENTIAL EQUITY GROUP, LLC
June 22, 1983 - March 12, 1984
BLINDER, ROBINSON & CO., INC.
Primary Firm SEC Registration
SYNDICATED CAPITAL, INC.
CRD#: 29037 / SEC#: 801-129421, 8-44162
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 5/18/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SYNDICATED CAPITAL, INC.
CRD#: 29037 / SEC#: 801-129421, 8-44162
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SC ADD HOLDINGS, LLC | OWNER | |
| BAINES AND MCADAMS LIVING TRUST | OWNER | |
| BAINES, HEATHER UNA | TRUSTEE OF BAINES & MCADAMS LIVING TRUST | 2173889 |
| LEE, FAITH | PRESIDENT, CCO, ROP, MUNICIPAL SECURITIES PRINCIPAL, MANAGER OF SC ADD HOLDINGS, LLC | 2715226 |
| MCADAMS, JOSEPH LLOYD JR | SROP, CROP, MUNICIPAL SECURITIES PRINCIPAL/TRUSTEE OF BAINES AND MCADAMS LIVING TRUST | 2173886 |
| THORNTON, STEVEN LEE | FINANCIAL AND OPERATIONS PRINCIPAL | 4496384 |
Regulatory assets under management
| Total Number of Accounts | 393 |
| AUM (Assets Under Management) | $ 122,987,781 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
Red Flags
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